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FINRA Awards for James Paul Estes

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Case Number Award Date Case Summary Customer Case? Amount Granted
15-0052408/04/2017Claimant(s): Bradley Sayre
Claimant Lawyers(s): Kevin Mirch
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): James Paul Estes, Brian Boru Torsney, Daniel A. Seiver
Hearing Site: San Diego, CA
15-0055106/17/2016Claimant(s): Thomas Garrity
Claimant Lawyers(s): Thomas P. Garrity
Respondent(s): Christopher Vanstelle, Mario Moretto, Steelpoint Securities.
Respondent Lawyers(s): Christopher Van Stelle
Arbitrator(s): Mark R. Lee, Nancy J. Spieczny, James Paul Estes
Hearing Site: San Diego, CA
06-0530608/07/2008Claimant(s): Gustavo Vildosola Castro, Lorenza de Vildosola, Gustavo Vildosola & Lorenza Ramos de V
Claimant Lawyers(s): Richard A. Heller, Vincent D. Slavens
Respondent(s): Citigroup Global Markets., Juan Cabanas-Vildosola, UBS Financial Services Inc.
Respondent Lawyers(s): Gilbert R. Serota, Samuel A. Keesal
Arbitrator(s): Guenter S. Cohn, Doris V. Knotter, James Paul Estes
Hearing Site: San Diego, CA
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